At Bakhtiari & Harrison, our California securities attorneys focus on representing individual investors in securities arbitrations through FINRA, both nationwide and across California. Our team of experienced investment attorneys serves clients in all major California cities, including Los Angeles, San Diego, San Jose, San Francisco, Fresno, Sacramento, Long Beach, Oakland, Santa Ana, Anaheim, Pasadena, and Bakersfield.
Expertise in Securities Arbitration
Our investment fraud attorneys possess extensive experience in securities arbitration, bringing the specialized knowledge needed to navigate the complex legal landscape of securities fraud. We assist clients in understanding the cause of their financial losses, whether due to market conditions or Wall Street wrongdoing.
Common Claims in FINRA Arbitration
California investors can bring numerous claims against broker-dealers in FINRA arbitration, including:
- Securities fraud under federal and state law
- Unsuitable investment strategies under California law
- Excessive Activity
- Overconcentration
- Failure to supervise
- Financial advisor theft
- Breach of Fiduciary Duty
- Violation of FINRA Rules
Protecting California Investors
California investors are safeguarded by a multitude of laws, statutes, and industry rules designed to prohibit broker misconduct. These regulations address issues such as unsuitable securities sales, securities fraud, churning, unauthorized trading, failure to supervise brokers, and negligence.
Key Resources for California Investors
Department of Business Oversight (DBO): The DBO regulates all securities sales and offers in California, providing consumer protection and rooting out investment fraud throughout the state.
California Department of Justice: The Attorney General’s office handles criminal prosecutions related to investor protection and securities fraud. Our securities attorneys often collaborate with the Attorney General on cases that could lead to criminal prosecution.
California Code – Section 25400: This statute outlines California’s securities anti-fraud laws, prohibiting fraudulent securities transactions.
FINRA and the SEC: Both entities create and enforce securities laws, with FINRA providing a dispute resolution forum for claims against broker-dealers. Our FINRA attorneys are well-versed in bringing claims related to securities fraud, churning, broker theft, and failure to supervise brokers.
Why Choose Bakhtiari & Harrison?
Our securities attorneys, FINRA attorneys, and investment attorneys are dedicated to helping you recover losses from broker misconduct in California. Our firm offers free consultations and works on a contingency fee basis when appropriate. If you are a California based investor and believe you have been a victim of securities fraud, investment fraud, or general broker misconduct, contact us today for expert legal assistance.